Senior Director, Compliance – Capital Markets

What you'll be doing

Capital Markets Compliance supports CIBC’s Canada Capital Markets business by providing regulatory oversight, strategic advice, and effective risk management across a broad range of products and activities. As the Senior Director, Capital Markets Compliance, you’ll lead CIBC’s Canadian broker-dealer compliance program and oversee the regulatory compliance framework for Canada Capital Markets. You’ll provide trusted advice to business leaders, help shape strategy and new initiatives, and guide the development of policies, procedures, and controls that support compliance with regulatory requirements. You’ll lead a team of senior compliance professionals, oversee monitoring, surveillance, training, and issue management programs, and bring forward clear insight on emerging risks, regulatory change, and business impact. You’ll also represent Compliance in senior management forums, engage with regulators and industry groups, and help ensure the compliance program evolves in step with business growth, market developments, and CIBC’s risk appetite.

_At CIBC we enable the work environment most optimal for you to thrive in your role. Details on your work arrangement (proportions of on-site and remote work) will be discussed at the time of interview._

How you'll succeed

• Lead the compliance program - Oversee CIBC’s Canadian broker-dealer compliance program, including the design and execution of supervisory controls, second-line monitoring, compliance testing, risk assessment, regulatory change management, issue tracking, and training initiatives.
• Provide strategic advisory support - Partner with Capital Markets leaders and business teams to provide timely, practical advice on regulatory requirements, business strategies, new products, and initiatives, including situations where information may be evolving or incomplete.
• Strengthen governance and regulatory engagement - Act as a standing Compliance representative on relevant management boards and committees, present compliance reporting to senior stakeholders, and serve as a key liaison with securities regulators and industry associations.
• Oversee policies, procedures, and surveillance - Lead the development and maintenance of compliance manuals, policies, guidelines, and procedures, and oversee monitoring and surveillance programs to help ensure they remain aligned with current regulatory expectations and examination findings.
• Lead people and build team capability - Manage, coach, and develop a team of senior compliance officers while supporting succession planning, operational resilience, and a strong culture of accountability, collaboration, and continuous learning.
• Manage issues and drive continuous improvement - Escalate material compliance concerns promptly, oversee internal reviews and regulatory examinations, and recommend enhancements to business processes and controls to strengthen the overall compliance environment.

Who you are

• You have deep capital markets compliance expertise. You bring extensive knowledge of Canadian capital markets activities, including equity, fixed income, foreign exchange, derivatives, commodities, money markets, underwriting, syndication, sales, and trading practices.
• You know the regulatory landscape. You have strong knowledge of applicable securities legislation, marketplace rules, and industry requirements, including Universal Market Integrity Rules, dealer rules, and exchange or marketplace trading requirements relevant to Capital Markets activities.
• You're an experienced people leader. You have a proven ability to lead and develop high-performing teams, set clear direction, and build strong succession and mentorship practices within a complex compliance environment.
• You're a trusted advisor and relationship builder. You build credibility with senior leaders, regulators, and cross-functional partners, and you communicate complex regulatory matters clearly, confidently, and with sound judgment.
• You bring strong professional experience. You have significant experience in capital markets compliance, ideally gained within an investment dealer, regulator, marketplace, or similarly complex financial services environment.
• Values matter to you. You bring your authentic self to work and live our values—trust, teamwork, and accountability.